Supervisory Principal Cross-disciplinary Controls jobs at Citi Group in United States, Miami

Individuals in Cross Disciplinary Controls are responsible for multiple activities within the Controls capabilities such as assessment & design, MCA, QA, Monitoring & Testing, Issue Management and/or Governance Reporting & Analysis for effective end to end oversight, design, implementation, and execution of controls. Individuals in this role may cover a broad range of in-business/function risk and control responsibilities rather than focusing on one specific role.

Responsibilities:

• Support the assessment the effectiveness of existing controls, identifying areas for improvement, and implementing necessary changes.
• Help drive and manage controls enhancements focused on increasing efficiency and reducing risk.
• Assist in the execution of Enterprise Risk Management Framework and adherence with Risk Management and Compliance Policies.
• Help support the oversight the MCA program, including the annual/semi-annual/quarterly/monthly attestation, quality oversight, and related reporting.
• Assist in the execution of the MCA in accordance with the ORM Policy & Framework, as well as applicable Policies, Standards, and Procedures.
• Help assess activities and processes as per required Policies, Standards and Procedures to strengthen risk management quality.
• Collaborate with key stakeholders to develop comprehensive corrective action plans to address identified control gaps or failures
• Participate in issue quality reviews ensuring compliance with
• Issue Management Policy, Standards and Procedures • Support development of standardized risk and controls reporting to ensure sound, reliable, and consistent information exists across the organization, enabling better management and decision-making in line with the expectations of senior management, Board, and Regulators.
• Participate in the oversight of the operations of Citi's governance committees, including coordinating meetings, managing agendas, and ensuring follow-up on action items.
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of teams and create accountability with those who fail to maintain these standards

Qualifications:

• Minimum of 6-10 years of experience in operational risk management, compliance, audit, or other control-related functions in the financial services industry.
• Ability to identify, measure, and manage key risks and controls.
• Strong knowledge in the development and execution for controls.
• Proven experience in control related functions in the financial industry.
• Proven experience in implementing sustainable solutions and improving processes.
• Understanding of compliance laws, rules, regulations, and best practices.
• Understanding of Citi’s Policies, Standards, and Procedures.
• Strong analytical skills to evaluate complex risk and control activities and processes.
• Strong verbal and written communication skills, with a demonstrated ability to engage at the senior management level.
• Strong problem-solving and decision-making skills
• Ability to manage multiple tasks and priorities.
• Proficiency in Microsoft Office suite, particularly Excel, PowerPoint, and Word
• Required FINRA License Series 7, 9 and 10, 63, 65 or 66.

Education:

Bachelor's/University degree, Master's degree preferred

Anticipated Posting Close Date:

S/he will be available domestically and globally to meet with clients and prospects to support banker and regional engagement and will represent the segment for CPB as an external marketing ambassador.

Internally, the role will be a key conduit for franchise relationships across the segment, building lasting and trusted relationships with key partners across Citi, with the end goal of surfacing new commercial opportunities and improving client outcomes.

Institutional Wealth Sales:

Key Institutional Wealth sales focus includes:

• Supporting existing coverage teams in the sale of core Wealth products where suitable and appropriate.
• Coordinate the sales of Direct Private Investing (“DPI”) to the segment. Deal origination is delivered by the existing DPI product teams.
• In partnership with CGW Capital Markets, coordinate CPB sales efforts around suitable Institutional Capital Markets products, including Strategic Equity Solutions, Commercial Real Estate financing and the Markets Direct Access (“MDA”) product program, among others.
• Coordinate CPB efforts with Banking Capital Markets and Advisory (“BCMA”), including the origination of client introductions where suitable.
• Coordinate access to targeted, episodic BCMA transactions suitable for a subset of Institutional Wealth clients.
• Coordination of the Institutional Wealth sales effort across the Private Bank will require close coordination with relevant product teams, including building an increasingly integrated sales approach with the existing Solutions Sales and Capital Markets teams.

Franchise Partnerships:

S/he will build upon well-established policies, procedures and partnerships to increase the two-way flow of client leads.

Within some specific areas, there will be the scope to drive co-coverage of key franchise names where suitable.

Risk Management:

Show leadership in first line of defense risk management for the segment and coordinate closely with the second line to protect the franchise and improve client outcomes.

Experience:

• Proven track record in driving incremental revenue and new client acquisition strategies in a private bank and/or institutional banking setting
• Extensive and proven experience working with family office executives, principals and family members
• Exceptional knowledge and connectivity within the family office ecosystem of advisors, service providers and centers of excellence
• Experience successfully developing and leading revenue-based consulting business, including marketing, business development and operations
• Exceptional consultative, analytical/business evaluation and problem-solving skills
• Excellent interpersonal skills and ability to develop strong working relationships across a matrixed organization
• Demonstrated coaching and people development experience
• Excellent communication (written and verbal) and presentation skills
• Demonstrated ability to motivate staff
• US: must obtain Series 7 and Series 66 registration if they do not already possess it.
• Fluent in Spanish and/or Portuguese

Competencies:

• Team player
• Excellent communicator (staff, clients and colleagues)
• Customer and quality focused
• Thinks strategically – sees the big picture
• Leads by example and is seen as a “role model”
• Is highly regarded and respected within the community
• Ability to handle complex client situations; solution provider
• Ability to influence others (staff, peers and superiors)
• Thinks outside of the box
• Highly motivated to succeed; results oriented
• Self-starter; entrepreneurial spirit
• Active listening skills
• Change agent/flexible

• Bachelor’s/universitydegree; master’s degree preferred

Anticipated Posting Close Date:

Individuals in Cross Disciplinary Controls are responsible for multiple activities within the Controls capabilities such as assessment & design, MCA, QA, Monitoring & Testing, Issue Management and/or Governance Reporting & Analysis for effective end to end oversight, design, implementation, and execution of controls. Individuals in this role may cover a broad range of in-business/function risk and control responsibilities rather than focusing on one specific role.

Responsibilities:

• Support the assessment the effectiveness of existing controls, identifying areas for improvement, and implementing necessary changes.
• Help drive and manage controls enhancements focused on increasing efficiency and reducing risk.
• Assist in the execution of Enterprise Risk Management Framework and adherence with Risk Management and Compliance Policies.
• Help support the oversight the MCA program, including the annual/semi-annual/quarterly/monthly attestation, quality oversight, and related reporting.
• Assist in the execution of the MCA in accordance with the ORM Policy & Framework, as well as applicable Policies, Standards, and Procedures.
• Help assess activities and processes as per required Policies, Standards and Procedures to strengthen risk management quality.
• Collaborate with key stakeholders to develop comprehensive corrective action plans to address identified control gaps or failures
• Participate in issue quality reviews ensuring compliance with
• Issue Management Policy, Standards and Procedures • Support development of standardized risk and controls reporting to ensure sound, reliable, and consistent information exists across the organization, enabling better management and decision-making in line with the expectations of senior management, Board, and Regulators.
• Participate in the oversight of the operations of Citi's governance committees, including coordinating meetings, managing agendas, and ensuring follow-up on action items.
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of teams and create accountability with those who fail to maintain these standards

Qualifications:

• Minimum of 6-10 years of experience in operational risk management, compliance, audit, or other control-related functions in the financial services industry.
• Ability to identify, measure, and manage key risks and controls.
• Strong knowledge in the development and execution for controls.
• Proven experience in control related functions in the financial industry.
• Proven experience in implementing sustainable solutions and improving processes.
• Understanding of compliance laws, rules, regulations, and best practices.
• Understanding of Citi’s Policies, Standards, and Procedures.
• Strong analytical skills to evaluate complex risk and control activities and processes.
• Strong verbal and written communication skills, with a demonstrated ability to engage at the senior management level.
• Strong problem-solving and decision-making skills
• Ability to manage multiple tasks and priorities.
• Proficiency in Microsoft Office suite, particularly Excel, PowerPoint, and Word.

Education:

Bachelor's/University degree, Master's degree preferred

Anticipated Posting Close Date:

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